Regulatory Response Specialist
DriveWealth is seeking a diligent and analytical Regulatory Response Specialist to join our Regulatory Liaison Group. Reporting directly to the Head of the Regulatory Liaison Group, this role serves as a crucial line of defense and a primary facilitator during regulatory examinations and inquiries. DriveWealth is a global B2B financial technology organization dedicated to democratizing access to financial independence worldwide through an API-based platform that empowers partners to offer seamless investing and trading experiences to clients globally.
The Regulatory Response Specialist will assist in managing SEC, FINRA, and state regulatory inquiries, examinations, and sweep letters by gathering, reviewing, and synthesizing requested documentation before submission. Responsibilities include producing clear, concise, and fact-based narrative responses to regulatory requests, partnering with finance and accounting teams to review and validate materials related to Net Capital, Customer Protection, margin requirements, and FOCUS reporting. Additionally, the role involves analyzing firm data to address inquiries related to Anti-Money Laundering (AML/BSA) and conducting data-driven internal investigations into complex order lifecycles to detect, analyze, or refute allegations of market abuse.
The ideal candidate will have 2–3 years of direct experience in broker-dealer compliance, audit, or regulatory examination, with a preference for experience as an SEC Broker-Dealer Examiner or FINRA Member Supervision or Market Regulation Examiner. A demonstrated working knowledge of Financial Operations (FinOp), Sales Practice, and Market Regulations is essential. Strong analytical skills to assess large data sets, trade blotters, and financial ledgers, along with exceptional business writing and verbal communication skills, are required. The ability to manage multiple strict, non-negotiable regulatory deadlines simultaneously without sacrificing accuracy is crucial. A bachelor's degree in Finance, Accounting, Economics, or a related field is required.
Compensation for this role ranges from $120,000 to $140,000 per year, with additional equity options available. DriveWealth offers a comprehensive benefits package, including full insurance coverage, a wellness reimbursement, a company-provided phone, and a personal development allowance. The company values work-life balance, providing generous paid time off, observed holidays, and extended leave options.
DriveWealth fosters a culture that blends the pace and agility of a fintech start-up with the impact, stability, and discipline of Wall Street. Creativity and experimentation are encouraged, ensuring institutional-grade execution and regulatory compliance in all operations. Joining DriveWealth offers the opportunity to contribute to building the future of global investing in a dynamic and supportive environment.